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July 3, 2013

New Hire Roundup: Steve Dunlap to Head Wealth Management at Cetera

Janus appoints Jeff Pawliger; more

This week in new hires, Cetera Financial Group welcomed Steve Dunlap; Jeff Pawliger was appointed as Janus' regional director for southern Florida, and PFM Group announced that Susan Musselman, Fred Eoff and Johanna Roodzant have joined with the acquisition of SDM Advisors.

Also, BMO Global Asset Management welcomed LJ Jhangiani, Hartford Funds announced a promotion and several additions, and Rosetta Packer became a partner at Ballard Spahr.

Steve Dunlap Joins Cetera as Head of Wealth Management

Cetera Financial Group announced that Steve Dunlap will join the company as executive vice president, wealth management. He assumes the role from Barnaby Grist, who will be leaving Cetera at the end of the month to focus on his family, and will report to Valerie Brown, CEO.

Most recently, Dunlap served in a dual role as president and CEO of Lockwood Advisors, which operates as the retail distribution arm of The Bank of New York Mellon, and as president of managed investments at the company’s Pershing unit. Before joining Pershing, he was president of Finetre Corp. His experience spans from managing private equity-funded startup companies to key leadership positions at multibillion-dollar corporations. He spent his early career as an investment executive, giving him insight into the challenges advisors face.

Janus Names Jeff Pawliger as Regional Director for Southern Florida

Janus Capital Group recently announced the appointment of Jeff Pawliger as regional director of Janus’ Advisor Solutions Group in southern Florida.

Pawliger, a 27-year veteran of the financial services industry, previously held positions as a regional and divisional sales manager for Wood Logan & Associates, Citigroup Smith Barney and AXA Distributors.

Susan Musselman, Fred Eoff, Johanna Roodzant Join PFM Group

PFM Group announced that it has acquired Seattle-based SDM Advisors. Susan Musselman, president of SDM Advisors, will join PFM as a director, and her colleagues Fred Eoff and Johanna Roodzant will also join the firm. They will work with PFM professionals already active in the northwest and will continue to serve clients from PFM's Seattle office, which will now have 10 employees.

SDM Advisors, formed in July 1996 as Susan D. Musselman, has clients in Washington that include counties, cities, utilities, school districts, housing agencies and special-purpose districts. SDM Advisors also serves most of the state's public universities, is advisor to the office of the state treasurer for its lease purchase program, and is on the financial advisory team for the Washington State Housing Finance Commission.

Collectively, SDM's professionals represent more than 70 years of experience in banking and public finance, general-purpose municipal finance, public housing development financing, higher education and economic development finance. Musselman has more than 30 years of experience in public finance, primarily in the Northwest. Eoff has 35 years of experience in public finance in the Northwest and nationally.

BMO Global Asset Management Welcomes LJ Jhangiani

BMO Global Asset Management announced the addition of LJ Jhangiani as a director, senior securities lender/trader in its securities lending group. Based in Chicago, Jhangiani will be responsible for the control and coordination of the securities lending trading desk and trading/lending within client portfolios.

With more than 20 years of securities lending exerience, Jhangiani's previous roles include portfolio manager, chief operating officer and vice president of global securities lending at several leading organizations.

Hartford Funds Promotes Brian Garrette, Adds Four

Hartford Funds named Brian Garrette and Michael Tobin divisional sales managers, overseeing the company’s south and west regions, respectively. In addition, the firm added three new advisor consultants. In their new roles, Garrette, based in Boca Raton, Fla., and Tobin, based in San Diego, Calif., are responsible for managing sales staff in their geography, including hiring, coaching, training and mentoring advisor consultants, as well as optimizing sales results and representing Hartford Funds at regional events. They both report to Jeff Reiss, head of retail sales.

Richard Benn, Nathan Fair and James “Mike” Sargent Jr. will serve as advisor consultants in New York and New Jersey, Wisconsin and Texas, respectively. Benn reports to Andrew Shaw, divisional vice president for the Northeast region, and is based in Florham Park, N.J.; Fair, based in Hartland, Wis., and Sargent, based in Dallas, report to Kirt Jones, DVP for the central region.

Garrette joined in 2004. He was promoted from his previous position as advisor consultant in the South Florida region, where he was responsible for financial sales performance and territory management in the wirehouse channel. Before joining, he spent nearly 15 years in business development at independent broker-dealer Investor Capital Corp., earning the title of firm principal.

Tobin brings nearly 25 years of mutual fund experience and joins from LPL Financial Services, where he served as the senior vice president, national sales manager, responsible for sales and marketing of advisory platforms. Prior to that, he served in various sales and distribution roles, including western divisional sales director at Invesco Distributors, previously Morgan Stanley Investment Management. He joined Invesco after six years with AllianceBernstein Investments, where he was the senior vice president, eastern divisional sales manager.

Benn joins after nearly seven years with RS Investments. In his most recent role, he served as regional vice president in northern New Jersey and New York. He joined RS Investments as a senior internal wholesaler from Guardian Investor Services, where he served as an internal wholesaler. Prior to that, he spent most of his career as a trader.

Prior to joining, Fair was regional vice president of national sales for Pioneer Investments. He joined Pioneer following six years with Natixis Global Associates, where he served as senior regional director and was responsible for growing sales as a wholesaler in Wisconsin and Iowa. Prior to that, he was a senior regional sales representative for Guardian Investor Services and spent three years as a personal financial advisor for American Express Financial Services.

Sargent brings more than 22 years of financial services experience, including his most recent role as vice president of Managers Investment Group, where he was responsible for business development within the wirehouse and broker-dealer channels in Texas and Oklahoma. He was previously at Capital Institutional Services, Inc., where he served as vice president of the institutional investment group. Earlier, he spent 10 years with American Beacon Advisors, where he served as vice president, responsible for business development for the American Beacon mutual funds and the American Private Equity Partners Limited Partnership.

Rosetta Packer Joins Ballard Spahr

Rosetta Packer has joined Ballard Spahr as a partner in the Philadelphia office. Packer focuses on complex commercial and real estate workouts and related state and federal litigation. She advises a range of leading financial institutions in loan restructuring, lender liability prevention and defense, and intercreditor relationships.

Packer has represented secured lenders in major Chapter 11 proceedings and has negotiated and documented complex real estate restructured transactions and asset-based facilities. In addition, she has tried cases in federal and state courts in complex commercial matters and lease finance transactions. Before joining, she was a partner in the Philadelphia office of McCarter & English. At Ballard Spahr, she is a member of the business and finance department and the firm’s bankruptcy, reorganization and capital recovery; transactional finance; and real estate finance and capital markets groups.

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